Q_and_A_-_Securities_Industry_Course_Series.doc

QUESTIONS – Securities Industry Course Series Q1. Are you able to advise if there is an incumbent contractor for this requirement? If so, could you please provide the incumbent contract number for this opportunity? If not, is this a new requirement?

A1. The incumbent for the current contract is Global Finance Marketing, Institute, Inc.

Q2. Why had the SEC settled on the number of 100 courses?

A2. It is an estimate based on prior year demands and the budget.

Q3. Can the SEC provide a list of programs that are currently running?

A3. The SEC is currently offering a broad range of basic, intermediate and advanced courses on topics such as: Compliance and Risk Management to Back-Office, Derivatives, Options, Technologies, Strategies, etc.

Q4. Is there a wish list of courses that the SEC would like to run but has not been able to?

A4. The SEC is always interested in the latest securities industry trends so courses based on those would always be of interest.

Q5. Do you have more specifics on the type of programs in the defined categories?

A5. No, however the SEC does want a diverse catalogue with a broad range of topics related to the financial industry and accounting. Cutting edge topics would be important.

Q6. Is there a specific and set calendar or is it a flex calendar? Specifically, is a roadmap developed annually and adhered to?

A6. It would be considered a flex calendar because the courses will likely differ each contract year and occur at different times of the year.

Q7. If it is a flex calendar what is the typical turnaround time from when the SEC requests a class to when it is delivered?

A7. Typically, the SEC requests course dates 2-3 months in advance, longer when possible.

Q8. For the Past Performance questionnaire, can we solicit and submit a response from the SEC on classes that we have run in the past or will it be omitted?

A8. You are welcome to submit a Past Performance Questionnaire to the SEC if desired.

Q9. What are the event cancellation and date rescheduling terms within this contract?

A9. Please provide your cancellation and rescheduling terms with your proposal. On occasion, the SEC will need to cancel and reschedule a course and will provide as much notice as possible.

Q10. What LMS SEC is using? (This is important if the SEC would like content uploaded) A10. The LMS the SEC is using is Cornerstone.

Q11. Does the SEC employ any informal (social) learning in their system? If not is this something that would be of interest?

A11. Currently, the SEC does not employ any social learning but we are open to the suggestion so please include a description with your proposal.

Q12. Our firm assumes the technical quote is a description of modalities, presentation of options, etc., is that accurate?

A12: Yes, this is correct.

Q13. On page 13 of the Combined Synopsis it says the quote shall consist of (3) electronic files:

o Volume 1 – Technical Quote (Microsoft Word or Adobe PDF) o Volume 2 – Price Quote (Microsoft Word or Adobe PDF) o Price (Microsoft Excel)

We assume that is an error and that it should be submitted as listed on page 3:

o Technical Approach and Understanding o Past Performance o Price

Please confirm that is correct.

A13. The quote shall consist of (2) electronic files:

Volume 1 – Technical Quote (Microsoft Word or Adobe PDF)

Volume 2 – Price Quote (Microsoft Excel)